DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Enlightened Finance LLC

Former SEC-registered adviserCRD 282965SEC 801-127653websiteIAPD
Latest filing Mar 22, 2024
First filing on the tape Mar 14, 2023 · 5 filings
SEC status approved since Apr 27, 2023
RAUM
$116M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
92%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$116M as of Mar 22, 2024
Mar 14, 2023$113M then
HNW client RAUM$79.3M as of Mar 22, 2024
Mar 14, 2023$79.5M then
State-registered IARs (5.B.3)6 as of Mar 22, 2024
Mar 14, 20236 then
Employees (5.A)6 as of Mar 22, 2024
Mar 14, 20236 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 2024; every figure names its basis
RAUM per advisor
$19.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$324,992derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$79.3M68%
  • Individuals$27.3M23%
  • Charitable organizations$6.5M5.6%
  • Pension and profit-sharing plans$3.2M2.8%
Individual clients
98reported
HNW clients
32reported
Pension plan clients
3reported
Charitable clients
3reported
Accounts
358reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Lloyd Alexander Martin · Managing Member/Chief Compliance Officercontrol
    since 08/2014 · owns 75% or more
  • Rodney Marc Schechter · Managing Membercontrol
    since 08/2013 · owns 50% to 75% of Vernon Investments LLC
  • Reed Jason Zimmerman · Managing Membercontrol
    since 08/2013 · owns 50% to 75% of Vernon Investments LLC
Entity owners
  • Vernon Investments LLC · Limited Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
Advisers that list Enlightened Finance LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Largo, Fl000
San Antonio, Tx000
Elkhart, In000
Offices
Schedule D 1.F, the 25 largest
  • San Antonio, TX2 employees
  • Elkhart, IN1 employees
  • Morgan Hill, CA1 employees
  • Rochester, MI1 employees
What changed
consecutive filings, newest first
  • Accounts · 339 to 358
    Jul 7, 2023 to Mar 22, 2024
  • Advisory activities · 2 to 3
    Jul 7, 2023 to Mar 22, 2024
  • Charity clients · 2 to 3
    Jul 7, 2023 to Mar 22, 2024
  • Individual clients · 112 to 98
    Jul 7, 2023 to Mar 22, 2024
  • Pension plan clients · 2 to 3
    Jul 7, 2023 to Mar 22, 2024
  • Assets in custody · 0.0 to unset
    Jul 7, 2023 to Mar 22, 2024
  • Financial planning clients · 11-25 to 0
    Jul 7, 2023 to Mar 22, 2024
  • Other offices · 5 to 4
    Jul 7, 2023 to Mar 22, 2024
  • Discretionary RAUM · $112M to $115M
    Jul 7, 2023 to Mar 22, 2024
  • HNW RAUM · $79.5M to $79.3M
    Jul 7, 2023 to Mar 22, 2024
  • Individual RAUM · $24.4M to $27.3M
    Jul 7, 2023 to Mar 22, 2024
  • Non-discretionary RAUM · $810,000 to $1.5M
    Jul 7, 2023 to Mar 22, 2024
  • Pension RAUM · $4.2M to $3.2M
    Jul 7, 2023 to Mar 22, 2024
  • RAUM · $113M to $116M
    Jul 7, 2023 to Mar 22, 2024
  • Other offices · 4 to 5
    Apr 25, 2023 to Jun 6, 2023
Signals
8 dated events
  • Enlightened Finance Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $116.3M)
    May 2, 2025 · Left the SEC roster · derived
  • Alexander Lloyd Martin left Enlightened Finance Llc for Trustee Empowerment & Protection, Inc. (registered 2016-07-01)
    Mar 25, 2025 · Advisor changed firm · fact
  • Thomas J. Delpup left Enlightened Finance Llc for Financial Transparency (registered 2025-03-27)
    Mar 14, 2025 · Advisor changed firm · fact
  • Steven Bankler left Enlightened Finance Llc for Financial Transparency (registered 2025-03-31)
    Mar 14, 2025 · Advisor changed firm · fact
  • Gina Elizabeth Valorz left Enlightened Finance Llc for Financial Transparency (registered 2025-03-31)
    Mar 14, 2025 · Advisor changed firm · fact
  • 2 advisors left Enlightened Finance LLC (San Antonio, TX) for Financial Transparency on the same day
    Mar 14, 2025 · Team lift-out · derived
  • Edward Anthony Bails left Enlightened Finance Llc for Fortified Wealth (registered 2024-08-08)
    Sep 6, 2024 · Advisor changed firm · fact
  • Enlightened Finance Llc filed its initial SEC registration (Form ADV)
    Mar 14, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026